LarsonAllen Financial, LLC
Annual Disclosures to Clients and Prospects

Notice of Privacy Practices

LarsonAllen Financial, LLC respects your right to privacy. We also know that you expect us to conduct and process your business in an accurate and efficient manner. In the course of doing so, we must collect and maintain certain personal information about you.

The type of information collected

We collect nonpublic personal information about you for the purpose of offering or furnishing our products and services to you. The types of information we may collect include:

• Your name, address, Social Security number, driver's license number, assets and income.
• Information about your investment history including your transactions with us and our affiliated companies.
• Information you may authorize us to obtain from others, such as consumer credit, tax returns and medical information.

Where we get the information

The information we collect about you comes primarily from data organizers, applications and other forms that we ask you to complete, and the transactions that you make with us and others. We also may receive information about you from other companies who provide services to you.

To whom we disclose the information

This does not alter our privacy policies with clients. Our clients' information remains secure with LarsonAllen Financial. We do not sell nonpublic personal information. We do not disclose any nonpublic personal information about you or any of our former clients to any unaffiliated third parties, except as required or permitted by law.. We may, however, disclose information about you and former clients to other companies where it is necessary to effect transactions or provide other services to you, to our affiliates, with regulators or other parties as required and permitted by law, or where you request or authorize that we do so.

Protecting the information

We restrict access to nonpublic personal information to those employees and authorized agents who need to know the information in order to provide services to you. Be assured that we maintain physical, electronic and procedural safeguards to maintain the confidentiality of the nonpublic personal information in our possession.

If we change our privacy policy and practices, we will provide a written notice to you.

If you have any questions about how we protect and safeguard nonpublic personal information, please call us at 1-888-925-2926.

Customer Identification Program

LarsonAllen Financial is subject to the USA PATRIOT Act (the "Act") which was passed by the U.S. Congress as a result of the September 11, 2001 terrorist attacks. U.S. financial institutions must, among other things, verify the identity of all new clients, with exceptions for certain types of accounts, as defined in the Act. Verifying identity requires more than simply asking for information from a prospective client. Financial Institutions must also verify the information provided through the use of available data and/or documents. The law also requires firms to monitor and report to the government suspicious activity in clients' accounts.

While we take great care in attempting to know our clients' individual goals and objectives as part of our endeavor to meet your needs, this law requires us to take additional steps to verify the identity of persons opening new accounts, including:

• Verifying the identity of prospective clients.
• Consulting applicable government agency lists of known or suspected criminals, terrorists and terrorist organizations to check if someone trying to open or maintain an account on any such list.
• Conducting, in certain circumstances, additional due diligence when accounts are opened, including requesting information about the source of funds deposited into such accounts.

All of us at LarsonAllen Financial hope you understand and support this federal regulation. Should you have questions, please contact us at 1-888-925-2926.

Business Continuity Planning

At LarsonAllen Financial, LLC., we strive to be a prominent national provider of wealth advisory and asset management services. As part of that commitment we have incorporated business continuity planning into our business strategy.

LarsonAllen Financial's business continuity plan addresses the loss of an area, building, staff, data, systems, and/or telecommunications. LarsonAllen Financial coordinates its plan with its parent company Larson Allen Weishair & Co. These plans are updated as needed and are subject to testing, evaluation, and senior management review on an ongoing basis. LarsonAllen Financial's Risk Committee oversees these plans and coordinates the activities of key people across the business to implement plans when needed.

Under most scenarios, we expect to continue doing business and resume operations with minimal service impacts. However, under certain scenarios, the time that it takes us to recover and to resume operations may be significantly increased depending on the extent of disruption to our systems and the number of personnel affected.

Proxy Voting Policy

Although LarsonAllen Financial, LLC manages discretionary and non-discretionary accounts on behalf of its clients, the firm does not vote proxies on behalf of those discretionary and non-discretionary accounts.

Legal Proceedings and/or Class Actions